Broker-Dealer Compliance Manual Section 12- Identity Theft Prevention

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The Broker-Dealer Written Supervisory Procedures Section on Identity Theft Prevention serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110.  The WSP Section helps firms outline and implement effective supervisory processes regarding its ITPP requirements.  The WSP Section includes thirteen (13) separate sections to address regulatory focal points often highlighted during the broker-dealer regulatory examination process.  Select sections include sample descriptions of supervisory review processes that can be further customized to align with your specific business model. Members also viewed our WSP Library and the Identity Theft Prevention Program (ITPP) Red Flags Event Log.

Version/Update: V.3/March 31, 2022

Total Page Count/Format: 19/.docx

Source/Author(s): Connexien